Floyd Pate
Floyd Pate is a registered investment advisor at LPL Financial LLC, based in Southern Pines, NC, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
250 N Bennett Street,Ste C, Southern Pines, NC, 28387
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Floyd is involved with Pate Investment Management, LLC for tax/investment purposes, and MPC Farms, LLC, an equine farm. He also sells non-variable life insurance through The Cason Group, dedicating a few hours per week.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Bb&t Investment Services, INC.Broker
Bb&t Investment Services, INC.
Morgan Stanley
Morgan Stanley Dw INC.Broker
Coastal Discount Stockbrokers, INC.Broker
State Registrations20 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.